The disciplinary tribunal process

After we have investigated a complaint, if
the matter is serious enough we may pass the case on to the Bar Tribunals and Adjudication
Service (BTAS). BTAS is an independent organisation that
arranges the disciplinary tribunals. It usually takes a few months
to arrange the disciplinary tribunal hearing and they usually take
place within 12 months of us receiving the complaint, but it can
take longer.

Disciplinary tribunals are made up of a
panel of three or five people, who can be barristers, lay people
(non-legal professionals) and sometimes judges. All panels will
include at least one lay person. We will decide in each case
whether the disciplinary tribunal panel dealing with the case
should have three or five people, depending on how serious the case
is. A panel made up of five people has more options available when
sentencing than a panel of three people has.

When we pass a case on for a disciplinary
tribunal, we will ask a prosecutor to represent us at the hearing.
We maintain a group of prosecutors for this purpose.

If you want to know more about the process
of a complaint through to a disciplinary tribunal, or through what
is known as the "Determination by Consent" procedure, please see
the Making
a complaint and
Facing a complaint leaflets.

Types of disciplinary
tribunals

There are two types of disciplinary tribunal
- three-person panels and five-person panels. We will decide which
type of panel to send the case to depending on how serious the case
is. Both panels follow the same process, but the sentences they can
hand out are slightly different.

Three-person disciplinary
tribunal

A three-person tribunal is made up of:

A chair (usually a Queen's Counsel, but sometimes a judge)

A barrister member and;

A lay person

The most serious sentence a three-person
panel can give a barrister is suspending them from practise for up
to 12 months (or for three months if the conduct happened before 6
January 2014).

The sanctions (penalties) a three-person
panel can give out to a barrister, or other person we regulate,
include any, or a combination of, the following:

Take no further action (impose no sanction)

Give advice

Warn them about their behaviour

Make them complete further professional development
training

Order them to pay a fine of up to £50,000 (or £15,000 for
conduct occurring before 6 January 2014)

Ban them from carrying out public access work, which is
accepting work directly from members of the public without the
involvement of a solicitor and/or;

Suspend them for up to 12 months (or three months if the
conduct happened before 6 January 2014)

If we refer a case to a three-person panel,
but that panel thinks that a sanction of more than 12 months'
suspension (or three months' suspension for conduct that happened
before 6 January 2014) may be appropriate, the panel can send the
case to a five-person panel for sentencing.

Five-person disciplinary
tribunal

A five-person tribunal is made up of:

A chair (always a judge)

Two barristers and;

Two lay people

A five-person panel has the same sentencing
powers as a three-person panel, but can also:

Suspend the barrister, or other person we regulate, for any
period of time or;

Disbar/disqualify the barrister, or other person we
regulate

For more information about the sanctions
available to disciplinary tribunals, see the Sentencing Guidance
issued by BTAS. You can find the Sentencing Guidance on the BTAS
website or on our website.

Reasonable adjustments

The Bar Standards Board will make any
reasonable adjustments that may be needed in relation to any aspect
of your attendance. Please ask the Bar Standards Board's Case
Officer if you need any other details including directions and
transport routes either to the venue or to the place from where you
will be attending if you are doing so by video-link. You should
tell the Case Officer if you have a disability that means you will
need help in getting to the hearing or the video-conference suite
or moving about the building in which the hearing takes place or
from where you will give evidence.

If you are unable to attend the hearing on
the day because you are too ill or an emergency has arisen, please
contact the Case Officer as quickly as possible to let them
know.

The disciplinary tribunal process

The disciplinary tribunal process has the
following four stages:

Stage one − letting people know the charges and giving them the
bundle of supporting documents

Stage two − agreeing the timetable for the case

Stage three − agreeing the date for the disciplinary tribunal
hearing

Stage four − the disciplinary tribunal hearing

Each stage is explained in more detail
below.

Stage one − letting people know the charges
and distributing the supporting documents

We will confirm which rules and/or duties we
think the barrister, or other person we regulate, has broken. These
are presented as written charges (allegations) which are listed on
a formal charge sheet. Each charge sets out the way in which we
think they have broken the rules and/or duties. There is no limit
to the number of charges that can be included on a charge
sheet.

The charge sheet is sent to them, with all
the documents we consider relevant to prove the charges. The
charges will usually be given to them within ten weeks of our
decision to send the case to a disciplinary tribunal.

The documents to support the case will
usually be sent at the same time. However, in some cases, the
documents may be sent at a later date if there are problems getting
documents.

Stage two − agreeing the timetable for the
case

The second stage involves agreeing a
timetable for the disciplinary tribunal. The timetable is set out
in the form of 'directions', which will usually include:

A deadline for the barrister, or other person we regulate, to
provide a statement and documents about their defence

A deadline for the barrister, or other person we regulate, to
state when he or she is available for the hearing and;

The estimated length of the hearing

We try to agree the directions with the
barrister, or other person we regulate. If they agree with the
proposed directions, the case will go ahead in line with the agreed
timetable.

If they do not agree with the directions, a
Directions Judge will need to decide what directions are
appropriate and, if necessary, the Directions Judge may decide that
there needs to be a hearing. In some cases, the barrister, or other
person we regulate, may also want to explain to the Directions
Judge that he or she thinks that some, or all, of the charges
should be dismissed before the disciplinary tribunal hearing
because they believe that the charges are wrong in law or cannot be
proved.

The Directions Judge will decide whether a
hearing is needed to agree directions, based on written statements
from us and the barrister, or other person we regulate. After
considering the statements, the Directions Judge can decide
that:

A directions hearing is not necessary and set appropriate
directions or;

A directions hearing should take place

What happens at a directions hearing?

The hearing is held in private and the
complainant cannot attend.

Along with the barrister, or other person we
regulate, we will have the chance to put forward arguments about
the directions or about whether the charges should be dismissed. In
most cases, the Directions Judge will make a decision at the
hearing. In some cases, the judge may decide to issue a written
judgment, particularly when they have made a decision on whether or
not the charges should be dismissed. If this happens, it may be a
number of weeks before the written judgment is available. As
directions hearings are held in private, the judgment will not be
made publicly available.

Stage three − agreeing the date of
the disciplinary tribunal hearing

The third stage of the disciplinary tribunal
process is deciding when the disciplinary tribunal hearing should
take place. This is sometimes decided at stage two but in many
cases the date for the hearing will be decided by BTAS based on
availability. Sometimes there are delays and we might need to ask a
judge for more directions about how to move forward. In many cases,
the date for the disciplinary tribunal hearing is decided after
the directions have been agreed and sometimes
BTAS may need to set the date for the hearing without knowing
whether the defendant will be available.

As the complainant does not formally take
part in the disciplinary proceedings, we will not check the
complainant's availability before the hearing date is set, unless
the complainant is needed as a witness. However, we will try, as
far as possible, to take account of any reasonable concerns the
complainant has about the hearing date.

Stage four − the disciplinary
tribunal

BTAS will tell the barrister, or other
person we regulate, the date, time and place of the hearing. We
will tell the complainant so that they can attend the hearing if
they want to.

Disciplinary tribunals are normally held in
public (unless the Directions Judge or the disciplinary tribunal
has decided that the hearing should take place in private). Details
of the hearing will be posted on the BTAS website once the hearing
date has been confirmed.

The standard of proof is the level of
evidence and amount of certainty that the tribunal need to find a
charge proved. The standard that is applied will depend upon when
the conduct in the charges took place. For conduct before 1 April
2019 the tribunal uses the criminal standard of proof (beyond
reasonable doubt). For conduct after 1 April 2019 it uses the civil
standard of proof (balance of probabilities).

The disciplinary tribunal will usually start
with the Clerk to the Tribunal reading out the charges and asking
the barrister, or other person we regulate, to admit or deny them.
If they admit all the charges, the case will usually proceed
straight to sentencing.

If they deny all or any of the charges, we
will present our case, including calling any witnesses to give
evidence. We are normally represented by a barrister acting on our
behalf. The defendant, or their representative, will then have the
chance to present the defence and call witnesses.

After both sides have presented their cases,
the disciplinary tribunal panel will decide whether the charges are
proved. The members of the tribunal panel will go into a private
room to discuss the case and make the decision. This can take a
number of hours if the case is complicated.

After the tribunal panel has made its
decision, the panel will return to the hearing room to announce its
decision.

Sanction

If the barrister, or other person we
regulate, admits the charges, or the tribunal panel finds them
proved, the disciplinary tribunal has to decide what penalty, if
any, is appropriate. We will give the tribunal panel details of any
previous disciplinary findings against them, and will also refer
them to any relevant sections of the Sanctions Guidance issued by
BTAS. You can find this document on our website or BTAS's
website.

The barrister, or other person we regulate,
will then be able to present any information that the tribunal
should take into account when deciding on the sentence. The
tribunal panel will, again, go into a private room to decide the
appropriate sanction.

A disciplinary tribunal will normally
announce its decision at the hearing, but the panel may decide that
written reasons should be provided after the hearing. If this
happens, it could take several weeks before the reasons are
available.

Frequently asked
questions

What action have you taken on the
complaint before referring it to a tribunal?

We will have carried out an investigation to make sure there is
enough evidence to show that the barrister, or other person we
regulate, has not complied with their professional obligations.
These obligations are set out in the BSB Handbook (for conduct that
happened before 6 January 2014, the obligations are set out in the
Code of Conduct 8th Edition). Where a barrister, or other person we
regulate, has not met their obligations, we have a range of options
available to deal with the situation and we will not always take
disciplinary action. However, where there has been a serious breach
of the Handbook, we will consider referring the case to an
independent disciplinary tribunal. You can see the BSB Handbook,
containing the Code of Conduct which barristers must keep to, on
our website.

What is an independent disciplinary tribunal?

Disciplinary tribunals are arranged by an
independent organisation called the Bar Tribunals and Adjudication
Service (BTAS). It appoints members of disciplinary tribunals and
arranges hearings. We have no influence over the members chosen to
hear disciplinary cases or the decisions they make.

Tribunal panels are made up of barristers,
independent lay people (people who are not from the legal
profession) and sometimes judges. All tribunal panels will include
at least one lay person. Lay people are members of the general
public who have qualities and experience that make them suitable to
hear disciplinary cases and be unbiased.

Can someone who has made a complaint take part in the
tribunal hearing?

The person who has made the complaint (the
complainant) will not be directly involved in the disciplinary
proceedings, unless he or she has to be a witness in the case. This
is because we are responsible for taking action against a
barrister, or other person we regulate, who might have breached
their professional obligations. Therefore, we will decide what
charges (allegations) of professional misconduct to bring against
the barrister.

We will make sure that a complainant is kept
informed of the progress of any disciplinary proceedings arising
from their complaint by providing the date of the disciplinary
tribunal hearing and informing them of the outcome of the hearing.
Disciplinary tribunals are usually held in public and anyone,
including the complainant, can attend.

Are disciplinary tribunals' decisions published?

Yes. The disciplinary tribunal makes the final
decision on whether or not a barrister, or other person we
regulate, has breached their professional obligations and is guilty
of professional misconduct. If a barrister is found guilty of
professional misconduct, BTAS will publish the finding on its
website.

A record of the finding will also be included in
the formal disciplinary record of the barrister, or other person we
regulate, and will be available to any person or organisation
asking us for details of disciplinary findings against them.

Can there be an appeal against a disciplinary tribunal
decision?

Yes. The barrister, or other person we regulate,
can appeal against the finding and/or sentence imposed by a
disciplinary tribunal. Appeals are made to the High Court. We will
tell the complainant if the barrister, or other person we regulate,
appeals and let them know the final outcome.

We can also appeal the decision of a disciplinary
tribunal but only in limited circumstances and only if the Chair of
the Professional Conduct Committee agrees.

Contact Details

If you have any questions about the
disciplinary tribunal process, please contact our Investigations
and Hearings Team or BTAS.

We use cookies to ensure that we give you the best experience on our website. If you continue without changing your settings,
we`ll assume that you are happy to receive all cookies on our website. To find out more about the cookies, see our
Cookie Notice.